Dodd-Frank Blog
Read the New Rules before You Make Your Next SEC Filing
Public Companies and Securities The SEC has issued final rules that reflect self-executing provisions of the JOBS Act. Because they were self-executing provisions of the JOBS Act, they do not change existing practice and were already well known. In addition, the rules reflect inflation adjusted amounts for determining “emerging growth company” status under the JOBS Act and other amounts […] Read more →
CFTC Initiates Project KISS
Derivatives In remarks at a conference, CFTC Acting Chairman J. Christopher Giancarlo announced the CFTC’s intent to comply with an Executive Order which requires each agency to... Read more →
Press Releases Sink Private Offering
Litigation, Public Companies and Securities The opinion of the SEC in KCD Financial Inc. upholds a FINRA disciplinary action against a FINRA member broker-dealer that sold securities in a private placement when no exemption... Read more →
SEC Denies Listing of another Bitcoin Fund; Petition for Review Filed for Winklevoss Bitcoin Trust
Uncategorized The SEC has denied a proposed rule change by NYSE Arca to permit the listing and trading of shares of the SolidX Bitcoin Trust. The reasons were substantially similar to the... Read more →
Sears and the Going Concern Footnote
Public Companies and Securities Traditionally, there has been no guidance in US GAAP about management’s responsibility to evaluate whether there is substantial doubt about an entity’s ability to continue as... Read more →
Regulation A+ Issuer Aims for NYSE MKT Listing
Public Companies and Securities Myomo, Inc. has had an offering statement qualified by the SEC in which it discloses an intent to apply to list its common stock on the NYSE MKT LLC. The offering seeks to raise... Read more →
Proposed Judgment in Conflict Minerals Case
Trump, Uncategorized Update: You can find the final judgment here. Pursuant to a court order, the parties to the conflict minerals case have filed a proposed judgment after they advised the court... Read more →
Justice Department Tells Court CFPB is Unconstitutional
CFPB The Department of Justice has filed an amicus brief in the case of PHH Corp. v. Consumer Financial Protection Bureau pending before the United States Court of Appeals for the... Read more →
Trump’s Budget Blueprint Sets Regulatory Posture
Trump The Trump administration has published its budgetary Blueprint. The Blueprint notes the 2018 Budget is being unveiled sequentially in that the Blueprint provides details only on... Read more →